EXAMINATIONS: Your coverage continues to provide the ability to evidence, within your dashboard, all aspects required to comply with SEC and FINRA examiner expectation. We have successfully lead a dozen firms in 2016 though federal exams and many more with state sweeps. We expect increased levels of examinations in 2017, though the expectations for compliance likely will remain the same.
COVERAGE: We have recently added processes and guidance for selecting/vetting vendors as well as catagorizing your data values. Please go to MANAGE YOUR ARMOR inside the DASHBOARD and complete the related forms. These will provide property inventory practices along with the verified agreements needed to demonstrate responsibility.
UNDERGROUND: Visit our new UNDERGROUND resource to find many related resources for best practices, recommendations, recent audit activities, etc. You will need to register to post/view but this is provided at no additional cost to current members.